Control Room, Investment Banking recruitment
The Company
An opportunity has arisen for a Compliance Associate to join our client's Compliance team, focusing in Control Room. The Control Room's main responsibility is to maintain the bank's information barriers by monitoring and controlling the flow of confidential information, working with the Conflicts Group to facilitate approval for bank and client transactions and subsequent risk management activities.
The Role
- Providing compliance advice to the Investment Banking business unit, covering MA, Corporate Advisory, ECM and DCM;
- Reviewing, managing and implementing the staff trading policy;
- Maintaining the restricted trading lists;
- Ensuring suitable Chinese walls and information barriers are in place;
- Identifying and avoiding conflicts of interest on corporate transactions;
- Assisting with local and global compliance policy development and implementation;
- Assisting in communicating and negotiating with regulatory bodies;
- Providing compliance training to new and existing employees;
- Recommending solutions to complex problems which may not have any precedents and guidelines to follow and developing guidelines to promote standards; and
- Assist in ad-hoc projects as required
Your Profile
The successful candidate will be a degree holder in Law, Accounting, Finance or related discipline. You must have minimum 3 years' post compliance working experience gained from control room compliance in financial services industry. You should have a strong work ethic and be able to display strong communications and relationship management skills. Fluency in English and Cantonese a must, ability to speak other languages is a plus.
Apply Today
Send your resume (in WORD format) by clicking the apply button now. Please note that only short-listed candidates will be contacted.